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Risk Management & Controls, Vice President

Tempe, AZ

Do you want your voice heard and your actions to count?

Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 6th largest financial group in the world. Across the globe, we're 160,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term relationships, serving society, and fostering shared and sustainable growth for a better world.

With a vision to be the world's most trusted financial group, it's part of our culture to put people first, listen to new and diverse ideas and collaborate toward greater innovation, speed and agility. This means investing in talent, technologies, and tools that empower you to own your career.

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Join MUFG, where being inspired is expected and making a meaningful impact is rewarded.
This is a hybrid position. The recruiter will provide additional details.

In this role you will focus on internal and external compliance requirements, activities, and deliverables to ensure that Operations & Technology meets regulatory and audit milestones. Responsibilities include engaging with regulators and/or leaders from other functions, including audit and compliance, and collaborating with Operations & Technology colleagues to prepare or review content prior to submission and manage follow-up actions; establishing processes, templates, and stakeholder matrices for activities; creating roadmaps aligned to recurring and ad hoc milestones; ensuring stakeholders execute appropriately and meet milestones on time; tracking, escalating, and/or remediating risks and issues; and developing and executing executive-level reporting.

This role is a key member of a first line risk and controls team aligned to a specific operations business. You will work with other team members to partner with operations teams to drive effective risk and control management. The teams are responsible for assessing the operations risk and control environment, identifying improvement opportunities, reporting and monitoring key risk metrics and providing governance with respect to all risk and control matters.

  • Drive implementation and sustainment of Operations control framework
  • Manage the execution of front line controls self-assurance and risk assessment activities (ad hoc controls review, business process management (BPM), risk and control self-assessments (RCSA)) and independent risk and audit activities as needed
  • Consult on controls design and efficiency with Operations partners in support of their commitments to align with all applicable laws, regulations, and internal policies and procedures
  • Drive risk culture; influence self-identification and disclosure of control self-assurance gaps
  • Ensure gaps are addressed via remediation plans that adhere to issues management mandates: timely issue and corrective action submission, accurate root cause identification, corrective action monitoring, on time closure, no failed validations, and no repeat issue
  • Monitor and evaluate emerging risk, internal operational trends, and external risk events for potential impact to control environment
  • Prepare risk analysis and risk mitigation recommendations
  • Support Operations risk governance by ensuring our control environment performance is reported and has risk management plans in place for critical issues
  • Support the preparation of risk and controls governance materials as needed


  • Undergraduate degree plus 8 years in operational risk management, internal audit or related roles
  • Preferred: professional certifications related to risk management.
  • 6-8 years experience in operations or IT risk and control or audit function
  • 6 plus years of experience in operational and/or IT risk management, (Includes operations, operational risk management, compliance, audit, and third party risk management within technology and/or information security), or a combination thereof, or other highly regulated environment
  • Deep working experience with regulations applicable to the banking and finance industry required
  • Deep understanding of financial institution processes, products, and risk
  • Preferred: knowledge in Payments areas including, but not limited to: wires, ACH, check and commercial card
  • Preferred: ""Big Four"" audit experience
  • Preferred: experience in a project management role
  • Understanding of controls design and monitoring
  • Knowledge and implementation experience with industry best practices and frameworks
  • Knowledge of critical domestic and international banking regulations and experience with enforcement agencies oversight activities (regulatory examinations, matters requiring attention (MRAs), consent orders, etc.) within a global systemically important financial institution's operations environment
  • Experience with executing risk assessment/testing methodologies, evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations
  • Experience with process documentation, risk and control assessments, and designing/executing test scripts
  • Understanding of the regulatory environment and regulations related to technology risk, and Office of the Comptroller of the Currency (OCC) and Federal Reserve Board (FRB) expectations
  • Experience with executing risk assessment/testing methodologies evaluating the adequacy and efficiency of internal controls; and identifying issues resulting from internal and/or external compliance examinations
  • Experience with risk metrics definition and reporting/scorecard development utilizing key risk metrics tools (IBM Open Pages, Tableau, etc.)
  • Prior supervisory and/or management role with a focus on talent development
  • Experience in creation and review of work papers to document testing and/or issue closure, and experience in the management of regulatory matters
  • Experience with automating and/or the ability to conceptualize automated control solutions
  • Excellent communication, presentation, and influencing skills, and ability to manage stakeholders across multiple disciplines
  • Excellent analytical, organizational, and conceptual skills
  • Ability to work effectively in team environment, and influence across all interpersonal levels, where flexibility, collaboration, adaptability, challenge, and influence are important
  • Strong planning and organizing skills; ability to multitask and deal with varied workload
  • Ability to demonstrate an analytical approach to problem solving. Identify, analyze and apply/recommend practical solutions
  • Ability to manage multiple priorities concurrently, prioritize, and efficiently complete responsibilities while maintaining the highest quality
  • Ability to support work streams with sometimes limited oversight/information from inception to completion
  • Experience with problem solving in a team environment by thinking outside of the box and providing innovative solutions, with and without technology
  • Ability to identify obstacles and work in conjunction with others to identify options/solutions
  • Ability to constructively work both independently and in collaborative environments involving all levels of management and employees
  • Strong work ethic, ability to make decisions, and work under tight deadlines; achievement-oriented and takes initiative

The typical base pay range for this role is between $115K - $150K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program provides colleagues with a competitive benefits package (in accordance with the eligibility requirements and respective terms of each) that includes comprehensive health and wellness benefits, retirement plans, educational assistance and training programs, income replacement for qualified employees with disabilities, paid maternity and parental bonding leave, and paid vacation, sick days, and holidays.

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual's associates or relatives that is protected under applicable federal, state, or local law.


Client-provided location(s): Tempe, AZ, USA
Job ID: MUFG_Union_Bank-10059023-WD
Employment Type: Other

Perks and Benefits

  • Health and Wellness

    • HSA
    • On-Site Gym
    • HSA With Employer Contribution
    • Health Insurance
    • Dental Insurance
    • Vision Insurance
    • Life Insurance
    • Long-Term Disability
  • Parental Benefits

    • Non-Birth Parent or Paternity Leave
    • Birth Parent or Maternity Leave
  • Work Flexibility

    • Remote Work Opportunities
  • Office Life and Perks

    • Commuter Benefits Program
  • Vacation and Time Off

    • Personal/Sick Days
    • Paid Holidays
    • Paid Vacation
  • Financial and Retirement

    • Pension
    • 401(K) With Company Matching
  • Professional Development

    • Promote From Within
    • Mentor Program
    • Access to Online Courses
    • Tuition Reimbursement
  • Diversity and Inclusion

    • Diversity, Equity, and Inclusion Program